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Detailed Report
Sean Pong
Syany Pong
CRD#: 2406530
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2006200820102012201420162018202020222024IAADVISORS ON CALL (CRD# 315319)2022 - 2023 (1 year)IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2012 - 2021 (8 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2012 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2006 - 2009 (3 years)
Disclosure(s)
View By:
6/7/2023
Regulatory
Final
8/6/2021
Employment Separation After Allegations
4/13/2020
Customer Dispute
Denied
1/28/2013
Customer Dispute
Denied
Previous Registration(s)
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 01/21/2022 - 10/17/2023 ADVISORS ON CALL (CRD#:315319) Long Beach, CA
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 10/23/2012 - 09/03/2021 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) LOS ALAMITOS, CA
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 10/01/2012 - 10/17/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) HAWTHORNE, CA
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 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) IRVINE, CA
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 02/23/2006 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) LONG BEACH, CA
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.